Priority Axis 1: Inclusive Labour Markets · 2017. 7. 25. · Managing Authority’s assessments at...

2014 to 2020 European Structural and Investment Funds Growth Programme

Call for Proposals

European Social Fund

Priority Axis 1: Inclusive Labour Markets

Managing Authority Department for Work and Pensions (DWP)

ESI Fund European Social Fund

Priority Axis: Priority Axis 1 : Inclusive Labour Markets

Investment Priority: 1.4: Active Inclusion

Call Reference:

Active Inclusion in D2N2 OCO8S17P0801

LEP Area:

D2N2

Call Opens:

25th July 2017

Call Closes:

27th September 2017

Document Submission Completed Outline Applications must be submitted to : [email protected]

mailto:[email protected]


ESIF Call Template ESIF-Form-2-001, Version 10.0 Date published 25 July 2017

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Contents

1. Call Context

1.1 National Context

1.2 Local Development Need

1.3 Scope of Activity

2. Call Requirements

3. Required Deliverables

4. General Information

4.1 Compliance and Eligibility

4.2 Intervention Rate & Match Funding

4.3 Applicants

4.4 Cross Cutting Themes

4.5 State Aid

4.6 Funding Agreement

4.7 Procurement

4.8 Retrospection

5. Application Process & Prioritisation Methodology

6. Support

7. Key Documents

8. Document Checklist

9. Document Submission

10. Timescales

11. Appendix A – Common output indicators


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1. Call Context

The 2014 to 2020 European Structural and Investment Funds (ESIF) bring the

European Regional Development Fund (ERDF), European Social Fund (ESF) and

part of the European Agricultural Fund for Rural Development (EAFRD) together

into a single European Union (EU) Structural Investment Funds (ESIF) Growth

Programme for England supporting the key growth priorities of innovation, research

and development, support for Small and Medium Enterprises (SME), low carbon,

skills, employment, and social inclusion.

European Structural and Investment Funds are managed by the Department for

Communities and Government (ERDF), Department for Work and Pensions (ESF)

and the Department for Environment Food and Rural Affairs (EAFRD). In London, the

Greater London Authority acts as an Intermediate Body for the European Regional

Development Fund and European Social Fund programmes. Unless stated

otherwise, the term “Managing Authority” will apply to all these organisations. These

Departments are the Managing Authorities for each Fund. The Managing Authorities

work closely with local partners who provide:

Practical advice and information to the Managing Authorities to assist in the

preparation of local plans that contribute towards Operational Programme

priorities and targets;

Local intelligence to the Managing Authorities in the development of project

Calls (decided by the Managing Authorities) that reflect Operational

Programme and local development needs as well as match funding

opportunities;

Advice on local economic growth conditions and opportunities within the

context of Operational Programmes and the local ESIF Strategy to aid the

Managing Authority’s assessments at outline and full application stage.

This Call is issued by the Department for Work and Pensions (DWP) to commission

ESF Funded projects that will support the Priority Axis 1 of the Operational

Programme: Inclusive Labour Markets and Investment Priority: 1.4 Active

Inclusion as set out in the Operational Programme.

All applications will need to be eligible under the European Social Fund Operational

Programme for England 2014 to 2020. The ESF Operational Programme is available

for applicants to read.

This Call for proposal sets out the requirements for any applicants to consider before

applying. Applications against this Call will be assessed as part of a two stage

appraisal process and successful applicants will enter into a funding agreement with

the DWP. Further information is given in sections 4 to 10.

All ESF applicants will need to be aware of the requirement to collect and report data

on all participants as per Annex 1 (see Appendix A). This will be as well as the

requirement of reporting on output and result indicators referred to in section 3 of the

Call for proposal.

https://www.gov.uk/government/publications/european-social-fund-operational-programme-2014-to-2020


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1.1 National Context

This priority axis aims to increase participation in the labour market and thereby

improve social inclusion and mobility. It will support activities through:

Investment Priority: 1.4 - Active inclusion, including with a view to promoting equal

opportunities and active participation, and improving employability

ESF will not fund activity that duplicates or cuts across national policy on grants and

loans for tuition for skills activities. Exemptions to this principle will be considered

only where a local specific need and/or market failure has been demonstrated and

where the activity falls within the scope of the Operational Programme.

Full details of what can and cannot be supported under this Investment Priority are

set out in the Operational programme. Details of the specific objectives have been

reproduced below.

Specific Objective Results that the Member States seek to achieve with Union support

To support people with multiple and complex barriers to participation to address these underlying issues and to move closer to or into the labour market.

The additional support for this investment priority will help people who are distant from the labour market and require intensive support in addressing their multiple, profound and complex barriers to participation in the labour market. The main result will be that people address their complex needs and therefore are better able to engage in labour market activity. There are output targets for disadvantaged sub-groups and result targets for movement into work and increased labour market activity.

To engage marginalised individuals and support them to re-engage with education, training, or in employment.

The additional support from this investment priority will help participants to move into employment, education or training. They will have a range of barriers and will be distant from the labour market or education/training. They will require intensive, tailored support. The main result that will be achieved is that more participants will be in education, training or employment upon leaving.

1.2 Local Development Need

Projects must deliver activity which directly contributes to the objectives of Priority

Axis 1, Investment Priority 1.4 of the Operational Programme, and which meets the

local development need expressed in the text and table below.

Call outline


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The D2N2 Strategic Economic Plan (SEP) sets out proposals for raising productivity

and skills growth rates in the D2N2 area, creating increased prosperity and higher

levels of employment.

The D2N2 EU Structural and Investment Funds (ESIF) Strategy 2014-20 sets out the

priorities for ESIF investment in the D2N2 area. It is further supported by the D2N2

Social Inclusion Framework which sets out the priorities by which the benefits of the

SEP objectives can be shared more equally across the D2N2 area and reach those

most disadvantaged and excluded from the benefits of local growth.

The D2N2 Community Programme is a package of investment incorporating both ESF

and ERDF components. The Community Programme will be delivered through a

‘modular’ approach, in line with the themes of the D2N2 ESIF Strategy. The first

‘module’ is the Active Inclusion, to be delivered through a delegated Active Inclusion

Community Grant programme; which aims to promote access to smaller communities

and organisations, whilst retaining the scope to make larger grants to support more

substantial communities, grant administrators should make delegated grants available

of between £10,000 and £50,000. The Active Inclusion Community Grant Programme

is only funded through ESF.

The D2N2 Local Enterprise Partnership area covers Derby, Derbyshire, Nottingham

and Nottinghamshire. It is one of the largest LEP areas within England, with a

population of more than 2m people and an economic output of nearly £40bn. The

economy comprises a mixture of rural and urban areas across 19 local authority

areas.

Employment is distributed across D2N2 but there is a concentration of employment in

and around the area’s two largest centres – the Core City of Nottingham and the key

city of Derby – with the two cities combined accounting for 36% of total employment,

compared to 26% of total population.

Based on information available from NOMIS (October 2015 to September 2016), the

number of unemployed stood at 48,400 for those aged 16 or over (28,200 males and

20,200 females), which equated to 4.8% of the total number of economically active

across the D2N2 area.

The total number of economically inactive (NOMIS - October 2015 to September

2016) stood at 303,300, which equated to 22.3%. Also, based on NOMIS information

(February 2017), the claimant count (out-of-work benefits) by sex, totalled 23,920

(15,505 males and 8,410 females) and by age, totalled 23,920 (aged 16 and over), of

which 5,450 were aged 50 or over.

In terms of the make-up of the claimant groups (based on NOMIS information at

August 2016), the number of lone parents totalled 15,200 and the number of disabled

people totalled 12,610.

http://www.d2n2lep.org/write/Documents/D2N2_SEP_March_31st.pdf

http://www.d2n2lep.org/write/Documents/ESIF/D2N2-ESIF-Strategy-June-2016.pdf

http://www.d2n2lep.org/write/Documents/Social_Inclusion_Framework_-_Oct_2014_-_FINAL.pdf


http://www.d2n2lep.org/write/Documents/ESIF/D2N2_-_ESIF_Community_Programme_Report_FINAL.pdf


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Alongside the two cities there is also a distinct urban conurbation in Ashfield /

Mansfield and there are a number of smaller centres that serve rural hinterlands

across the D2N2 area. In terms of transport links, D2N2 has a central location in

England, well served by key north-south transport links such as the M1, A1, Midland

Main Line and East Coast Main Line.

The Vision is that D2N2 will become a more prosperous, better connected, and

increasingly competitive and resilient economy, by supporting the creation of an

additional 55,000 private sector employee jobs in D2N2 by 2023. As well as being

recognised as a place which inspires and supports people to achieve their potential

in an economy that provides opportunities for all to live, work and prosper.

The aim of the D2N2 Community Programme is to extend the benefits of the D2N2

ESIF programme and add value to ‘mainstream’ delivery by promoting;

locally distinctive and innovative activity in communities across D2N2

social value and social innovation, excellence in equalities and environmental

sustainability.

In contributing to this aim the Active Inclusion Grants Programme will;

add value to the Big Lottery Fund’s ‘Building Better Opportunities’ project,

contribute towards the priorities identified in the D2N2 Social Inclusion

Framework (October 2014)

promote equal opportunities and active participation, and improving

employability.

A full summary of the delivery objectives for the Active Inclusion Community Grants

can be found in the Strategic Overview.

Existing Provision and Added Value

Delivery of the Active Inclusion Grants Programme should be mindful of other related

ESF activity across the D2N2. In particular applicants should specifically reference

alignment with the three Building Better Opportunities projects (Towards Work,

Opportunity & Change and Money Sorted), with Inspire Local and Youth Engagement

programmes across D2N2.

Both the Building Better Opportunities Programme and the Active Inclusion

Community Grant will be part funded by Investment Priority 1.4 of the European

Social Fund. Therefore beneficiaries cannot participate in the same activities

supported by both the Community Grant and the Building Better Opportunities

programme and be counted as an output by both. Participants can however progress

to an ESF Programme such as INSPIRE Local, SKILLS Local or EMPLOY Local that

is not funded by Investment Priority 1.4. Applicants applying to administer

Community Grants should describe how they will add value to BBO provision and

http://www.d2n2lep.org/write/Documents/ESIF/OPEN_CALL_-_Community_Programme_-_Soc_Inc.pdf


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how they will ensure that beneficiaries, particularly the hardest to reach, receive the

most appropriate type of support.

All relevant documentation supporting this call can be found on the D2N2 website at:

http://www.d2n2lep.org/EUFunding/Key-Documents and a diagram describing

existing funded ESF provision is available at:

http://www.d2n2lep.org/write/Documents/ESIF/ESF/D2N2-ESF-Programmes-2015-

to-2018.pdf

Local priorities In addition to the local inclusion priorities identified in the D2N2 Social Inclusion Framework, the ESIF Strategy and other strategic reviews (including early findings of the Building Better Opportunities Programme) also identify the following priority groups:

People with physical disabilities;

People with learning disabilities;

Offenders and ex-offenders;

Carers;

People from Black, Asian and Minority Ethnic (BAME) communities;

Refugees.

Applicants can apply to administer the Active Inclusion Community Grant in one or

more delivery area. Full details of the options for delivery models can be found in the

Strategic Overview document.

Details of the local ESIF Strategy can be found at: D2N2 Strategic Economic Plan

1.3 Scope of activity This Call invites Outline Applications which support the delivery of Priority Axis 1, Investment Priority: 1.4 Active Inclusion of the European Social Fund Operational Programme and responds to the local development need set out in the D2N2 Local Enterprise Partnership Area European Structural and Investment Funds Strategy.

This Call aims to address the identified shortfalls listed in section 1.2 Local Development Need above.

2. Call Requirements

All applications are competitive.

Indicative Fund Allocation:

Indicatively, through this Call the Managing Authority expects to allocate approximately £1,500,000 ESF

http://www.d2n2lep.org/EUFunding/Key-Documents

http://www.d2n2lep.org/write/Documents/ESIF/ESF/D2N2-ESF-Programmes-2015-to-2018.pdf

http://www.d2n2lep.org/write/Documents/ESIF/ESF/D2N2-ESF-Programmes-2015-to-2018.pdf



http://www.d2n2lep.org/write/Documents/ESIF/OPEN_CALL_-_Community_Programme_-_Soc_Inc.pdf

http://www.d2n2lep.org/write/Documents/D2N2_SEP_March_31st.pdf


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The Managing Authority reserves the right to decrease or increase the indicative allocation, or support more or fewer projects subject to the volume and quality of proposals received.

Minimum application level

European Social Fund investment is intended to make a significant impact on local growth. Applications are expected to demonstrate appropriate scale and impact. The Managing Authority does not intend to allocate less than £50,000 of European Social Funding to any single project. It is important to ensure a range of activity across all 4 geographical areas is supported as detailed in the call and also the need for coherence. Therefore the MA favours a single project in each area which responds to local circumstances, challenges and opportunities.

Duration of project approvals

Projects should be for a maximum of three years; however the Managing Authority reserves the right to vary the maximum duration in exceptional circumstances.

Geographical Scope

All interventions should be focused on activity and beneficiaries within the D2N2 Local Enterprise Partnership area. However, delivery in North Derbyshire and Nottinghamshire areas also included within the Sheffield City Region will need to be mindful of activity and provision within the area of overlap.

Specific Call requirements

This is a Call for ESF activity.

Call Deadlines For this specific Call, applications will be assessed following closure of the Call. Applications received after the published Call close date will not be considered.

Application selection All applications will be scored in line with the ESF scoring criteria, but the MA reserve the right to invite projects to full application stage where they complement other activity or provide niche activity to target groups within the OP.

Applicant proposals These can only contain activities which are eligible for ESF

Eligible match funding Applicants will need to have eligible match funding for the balance of costs, which must be from a source other than the European Union. At outline application stage the applicant will need to provide information to demonstrate that the operation is likely to have the required level of match funding in place at the point of formal approval.

Operational completion

Operations must be completed no later than 30th of September 2020


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Procurement All procurement must be undertaken in line with EU regulations.

State Aid law Applicants must demonstrate compliance with State Aid law

Audit/ Compliance All expenditure and activities will be subject to rigorous audit and non-compliance may lead to financial penalty.

Calls listing multiple activity

The applicant is required to list each activity they plan to deliver, supported by a clear breakdown of costs. Expected outcomes and results per activity should be provided.

ESF cannot be used to duplicate existing activities or activities that do not address

market failure. ESF can only be used to achieve additional activity or bring forward

activity more quickly. Applicants must be able to demonstrate that proposals are

additional to activity that would have occurred anyway or enables activity to be brought

forward and delivered more quickly than otherwise would be the case in response to

opportunity or demand.

3. Deliverables required under this Call:

Applications will be expected to achieve the minimum indicative level of Programme

Deliverables by contributing to the following Investment Priority. The definitions of

which can be accessed at the ESF Operational Programme.

Investment Priority

1.4 Active Inclusion.

Specific Objectives

Active inclusion, including with a view to promoting equal opportunities and active participation, and improving employability

Indicative Actions

ESF will not support activities that duplicate or replace existing support within national programmes, but may be used to support additional activities or target groups, including provision co-designed with local partners. Examples of activities that may be supported include:

basic skills and ESOL training, including additional support with basic skills in preparation for apprenticeships;

support for those who need pre-traineeship and pre-Work Programme assistance, to prepare them for the next step;

support complementing other skills provision, such as crosscutting and 21st century skills, including team working, effective communication, problem solving, critical thinking and self-direction;

money management support and advice and financial literacy programmes in order to address deep seated debt issues which make moving from benefit into work more challenging;



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digital and internet literacy courses to aid job searching, access to benefits and progress in work;

volunteering and training opportunities (as a pathway back to work) for marginalised individuals / groups / communities to help them access jobs in low carbon sectors or land drainage flood risk management or work that supports property level protection against flooding;

local ‘Community Grant’ type activity to support small scale voluntary sector activity which can be crucial to reaching out to these groups;

first contact engagement activities (for example, arranging events in places that people feel comfortable to visit);

local networks and groups to support people to get a job or access learning (for example, Job Clubs or Learning Champion type activity) to provide people with a safe environment and peer support;

softer skills development (for example, assertiveness, anger management and motivation);

volunteering, which is recognised in general terms as a good way to re-engage those furthest from the labour market.

The investment priority may also encourage Social Investment models (e.g. social impact bonds) by providing outcome funding that enables payment by results programmes to be established to support the Government’s agenda on Social Justice and encourage innovative delivery models within local communities. The focus would be on disadvantaged individuals and families, e.g. in areas such as employment, training, drug addiction and other issues which are usually part of the cycle of deprivation.

To complement other thematic objectives, the investment priority may support activities that are designed to promote social inclusion whilst also tackling environmental issues such as environmental protection, waste recycling, energy efficiency, and renewable energy. These activities are relevant across all types of territory.

Results Table

ID Result Indicator Minimum Target value for this call

ESF-CR02 Participants in education or training on leaving

17% More Developed

ESF-CR06 Participants in employment, including self-employment, 6 months after leaving

22% More Developed


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R1 Unemployed participants into employment (including self-employment) on leaving

14% More Developed

R2 Inactive participants into employment, or job search on leaving

27% More Developed

R4 Participants with childcare needs receiving childcare support

36% More Developed

Outputs table

Investment Priority 1.4 Delivery Area TOTAL

Derby Derbys Nottm Notts

A - Economically inactive 32,200 110,800 65,200 110,000 318,200

B – Unemployed 7,400 16,200 13,400 19,600 56,600

C - Not looking for work 22,100 87,300 50,800 86,400 246,600

TOTAL (A+B-C) 17,500 39,700 27,800 43,200 128,200

% 14% 31% 22% 34%

As above TOTAL ESF Funding £204,758 £464,509 £325,273 £505,460 £1,500,000

Output Targets

O1 Total Number of Participants

200 454 318 494 1465

- Male Total Number of Participants

106 240 168 262 777

-Female Total Number of Participants

94 213 149 232 689

CO1 Unemployed, inc. Long Term Unemp.

108 245 172 267 791

CO3 Inactive 78 177 124 193 571

O4 Participants over 50 years of age*

30 117 30 116 293

O5 Participants from Ethnic Minorities*

36 14 72 25 147

CO16 Participants with disabilities*

47 160 56 161 425

Applicants will be required to demonstrate how they will achieve the deliverables

within their proposal along with any methodology that will be used to record


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achievement. Applicants will also need to ensure robust systems are in place, and be

able to describe them, to capture and record the targets and to report quantitative

and qualitative performance across the D2N2 LEP area. All operations will be

required to collect data and report progress against the deliverables with each claim.

Where an operation underperforms against their deliverables they may be subject to

a performance penalty.

There must be a fully evidenced audit trail for all contracted deliverables.

4. General Information

Essential information to support the drafting of an application and delivery of a

successful ESF funded project is available at the European Growth Funding website

pages.

4.1 Compliance and Eligibility

When developing an application, Applicants should refer to guidance on eligible

Applicants, activities and costs. These are for guidance only and Applicants should

take their own specialist advice if in doubt. It is the responsibility of the Applicant to

ensure that the rules and guidance are adhered to both at application stage and

following approval.

European Structural Investment Funds (ESIF) are governed by European regulations

and national rules. Applicants are advised to familiarise themselves with the relevant

documentation listed in the ‘key documents’ section prior to submitting an Outline

application. If successful, Applicants will enter into the standard Funding Agreement

and must abide by the standard terms and conditions contained therein. Applicants

are therefore strongly advised to read these terms and conditions to ensure that they

would be able to enter into such an agreement prior to responding to the Call. Once a

Funding Agreement has been issued it should be signed and returned within a short

timescale.

4.2 Intervention Rate & Match Funding

ESF is funding used where no other funding can be obtained (the funder of last

resort) and the maximum ESF intervention rate for the operation is 50%. This means

ESF can contribute up to 50% of the total eligible project costs, subject to State Aid

regulations. The remaining 50% or more must come from other eligible sources. For

all outline applications, the applicant will need to provide information to demonstrate

that the operation is likely to have the required level of match funding in place at the

point of formal approval.

https://www.gov.uk/european-growth-funding

https://www.gov.uk/government/publications/european-structural-and-investment-funds-programme-guidance


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ESF is not paid in advance and expenditure must be defrayed prior to the submission

of any claims. Applicants may be asked to demonstrate how they are able to cash

flow the operation.

4.3 Applicants

Applicants must be legally constituted at the point of signing a Funding Agreement,

and be able to enter into a legally binding Funding Agreement. The Applicant will be

the organisation that, if the application is successful, enters into a contract for ESF

and therefore carries the liability for ensuring that the terms of the ESF Funding

Agreement are met by them and to all delivery partners. If there is more than one

organisation applying for the funds, a lead organisation must be selected to become

the Applicant. It is this organisation that carries the responsibility and liability for

carrying out a compliant project.

The Managing Authority will consider the Applicant’s track record, both positive and

negative. If the Applicant has been involved in the delivery of previous European

grants and any irregularities with this (these) grant(s) have been identified, the

Managing Authority will look into these and expect to see how and what steps have

been taken to ensure that these have been addressed to mitigate the risk of further

irregularities in the future. It is acknowledged that some organisations will be new to

ESIF funding and will not have a track record.

4.4 Cross Cutting Themes

All applications received under this Call should demonstrate how the Cross Cutting

Themes have been addressed in the project design and development. Cross cutting

themes for ESF are ‘gender equality and equal opportunities’ and ‘sustainable

development’.

For ESF, the project applicants will be required to deliver their services in-line with

the Public Sector Equality Duty (as defined in the Equality Act 2010). All projects

must have a gender and equal opportunities policy and implementation plan which

will be submitted at full application stage and in-line with Managing Authority

guidance. Project applicants will also be required to answer a number of ESF-specific

equality questions which will be set out in both the full application form and the

related guidance.

For ESF, all projects will also be required to submit a sustainable development policy

and implementation plan (in-line with guidance produced by the Managing Authority).

The ESF programme particularly welcomes projects that have an environmental

focus that can meet the strategic fit at local and programme level whilst also adding

value by:

supporting environmental sustainability; and/ or


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complementing the environmental thematic objectives of other

programmes such as ERDF; and/or

using the environment as a resource to help motivate disadvantaged

people

Further information is available in the ESF Operational Programme

4.5 State Aid & Revenue Generation

Applicants are required, in the Outline Application, to provide a view on how their

proposal complies with State Aid law. Applicants must ensure that projects comply

with the law on State Aid.1 Grant funding to any economic undertaking which is state

aid can only be awarded if it is compatible aid, in that it complies with the terms of a

notified scheme or is covered by the De Minimis Regulation. Guidance for grant

recipients, explaining more about State Aid, is available; it is important that

Applicants take responsibility for understanding the importance of the State Aid rules

and securing their full compliance with them throughout the project, if it is selected

into the Programme.

The Managing Authority is not able to give legal advice on State Aid. It is the

responsibility of the Applicant to ensure that the operation is State Aid compliant.

Where the Applicant does not perceive that there is any State Aid, it should state

whether or not it considers Articles 61 and 65(8) of regulation 1303/2013 to apply.

This revenue should be taken into account in calculating eligible expenditure. Article

61 refers to monitoring revenues generated after completion of the project, and

Article 65(8) how to deal with differences in the forecast and actual revenues at the

end of the operation. The details of this will be tested at the full application stage.

4.6 Funding Agreement

The Funding Agreement is a standard, non-negotiable and legally binding document.

Any successful Applicant will be subject to the terms and conditions contained within

this agreement. Applicants are strongly advised to seek their own advice to ensure

that they would be able to enter into and abide by the terms of the Funding

Agreement.

Failure to meet any of the conditions of the agreement or the commitments within the

application will result in claw back of funding.

1 Article 107(1) of the Treaty on the Functioning of the European Union provides that: “Save as

otherwise provided in the Treaties, any aid granted by a Member State or through state resources in

any form whatsoever which distorts or threatens to distort competition by favouring certain

undertakings or the production of certain goods shall, in so far as it affects trade between Member

States, be incompatible with the internal market.”



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Applicants should be aware that additional provisions and securities may be included

within the Funding Agreement to protect the investment. These will be further

discussed if relevant following the Full Application stage.

4.7 Procurement

All costs delivered by the Grant Recipient (the applicant) and/or delivery partners

must be delivered on an actual cost basis. Other costs must be procured in line with

EU regulations. The most common error identified during audit has been failure to

comply with relevant procurement regulations and crucially to maintain a full audit

trail to prove that they have complied with the relevant regulation. Robust and

transparent procurement is required to ensure that Grant Recipients:

consider value for money;

maximise efficient use of public money; and

maintain competitiveness and fairness across the European Union.

It is recommended that applicants seek their own legal advice pertaining to their

procurement and requirements to publicise any tendering opportunities.

The Managing Authority is not able to give legal advice on procurement. It is the

responsibility of the applicant to ensure the project is compliant in this respect.

4.8 Retrospection

There will be no retrospection for applications made against this Call, other than in

line with the general policy on retrospection which allows costs to be potentially

eligible between outline and full application stage, but only where the full application

is approved.

5. Application Process & Prioritisation Methodology

There are two stages to the ESF application process; Outline Application and if

successful, Full Application. Applicants must fully complete the Outline Application

Form (section 9 refers). Guidance is available on the European Growth Funding

website pages. Acceptance of an Outline Application to progress to full application

stage does not in any way indicate or constitute an offer of European Social Fund

grant. Applications will be subject to a Gateway Assessment undertaken by the

Managing Authority under the following criteria:

Applicant eligibility;

Activity and expenditure eligibility; and

The fit with the ESF OP and the Call.

Proposals that pass the Gateway Assessment will move into the Core Assessment

which consists of the following:



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Strategic fit;

Value for money;

Management & control;

Deliverability;

Procurement / tendering; and

State Aid compliance.

The Managing Authority will seek advice from partners when considering

applications to ensure its assessment is informed by local economic growth

conditions and opportunities within the context of Operational Programmes and the

local ESIF Strategy. This will include the relevant LEP Area ESIF Committee and

other partners deemed relevant to the application.

The assessment and any prioritisation will be undertaken using only the information

supplied as part of the application process. The Managing Authority cannot accept

further detail outside this process.

Non-public sector Applicants who are successful at the Outline Application stage may

be subject to due financial diligence checks by the Managing Authority, prior to

submission of a Full Application. Applicants will be required to submit accounts, and

to clarify financial or other organisational information. New Applicant organisations

may be required to provide details of a guarantor.

There is no appeal process for applicants whose Applications are rejected at Outline

Application stage, Full Application stage or for failing to satisfy the MA’s Financial

Due Diligence checks.

6. Support

Please note that this is a competitive Call and to preserve impartiality we are unable

to enter into correspondence with applicants over their Outline application. Details of

where guidance can be found are contained throughout this Calls document. In

exceptional circumstances, if there are issues with accessing this guidance, please

contact:

: [email protected]

No applications are to be sent to this email address. Completed Outline applications

must be sent to the email address provided in Section 9 – Document submission.

7. Key Documents

Outline Application Form;

Outline Application Form Guidance;




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Local Enterprise Partnership area’s ESIF strategy; and

National ESF Eligibility Rules.

8. Document Checklist

The assessment will be undertaken on the basis of documentation received at the

point of closure of the call. Applicants should provide the following documentation.

Outline Stage:

fully completed Outline Application;

financial tables (if the application is against more than one Category of

Region, a financial table for each Category of Region);

Outputs, Results and Indicators tables (if the application is against more than

one Category of Region, a Outputs, Results and Indicators table for each

Category of Region); and

To enable the Managing Authority to complete the required Financial Due Diligence checks (if private or voluntary and community sector), applicant to provide o three years financial accounts o Proof of existence - Certificate of Incorporation, Charities Registration , VAT

Registration Certificate or alternate form of incorporation documentation; o Proof of trading - Financial Accounts/Statements for the most recent two years

of trading including, as a minimum, Profit and Loss Account and Balance Sheets;

o Completed Financial Viability and Risk Assessment Applicant Template (for applications requesting annualised funding of greater than £1m)

Failure to provide the above documentation could result in the application being

rejected.

9. Document Submission

Completed Outline Applications must be submitted to

: [email protected]

10. Timescales

Launch of Call advertised on gov.uk. 25 July 2017

Deadline for submission of Outline Application 27 September 2017



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Outline Application forms not received by the deadline will not be assessed. Outline

Applications which are not fully completed will be excluded.

For this Call applications will normally be required to commence delivery/activity

within three months of the award of contract.

Any changes related to the deadline for the submission of the Outline Application

form will be notified on the European Growth Funding website pages.

11. Appendix A – Common output indicators

Appendix A – extract from Annex 1 of the ESF regulation

Common output and result indicators for ESF investments

(1) Common output indicators for participants "Participants" refers to persons benefiting directly from an ESF intervention who can

be identified and asked for their characteristics, and for whom specific expenditure is

earmarked. Other persons shall not be classified as participants. All data shall be

broken down by gender.

The common output indicators for participants are:

unemployed, including long-term unemployed

long-term unemployed

inactive

Inactive, not in education or training

employed, including self-employed

below 25 years of age

above 54 years of age

above 54 years of age who are unemployed, including long-term unemployed, or inactive not in education or training

with primary (ISCED 1) or lower secondary education (ISCED 2)

with upper secondary (ISCED 3) or post-secondary education (ISCED 4)

with tertiary education (ISCED 5 to 8)

participants who live in jobless households

participants who live in jobless households with dependent children

participants who live in a single adult household with dependent children

participants who are offenders or ex-offenders

ethnic minorities

Participants with disabilities

other disadvantaged

homeless or affected by housing exclusion

from rural areas

Common immediate result indicators for participants are:



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inactive participants engaged in job searching upon leaving

participants in education/training upon leaving

participants gaining a qualification upon leaving

participants in employment, including self-employment, upon leaving

disadvantaged participants engaged in job searching, education/ training, gaining a qualification, in employment, including self-employment, upon leaving

Common longer-term result indicators for participants are:

participants in employment, including self-employment, six months after leaving

participants with an improved labour market situation six months after leaving

participants above 54 years of age in employment, including self-employment, six months after leaving

disadvantaged participants in employment, including self-employment, six months after leaving

Priority Axis 1: Inclusive Labour Markets · 2017. 7. 25. · Managing Authority’s assessments at...

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